5/22/13		Direct Edge Selects FINRA for Market Surveillance
5/21/13		LPL to Pay $9 Million for Systemic Email Failures and for Making Misstatements to FINRA
5/9/13		FINRA, SEC Issue Investor Alert on Pension or Settlement Income Streams
5/8/13		FINRA Fines Three Firms $900,000 for Inadequate Anti-Money Laundering Programs
5/7/13		National Crime Prevention Council and the FINRA Foundation Partner to Reduce Investment Fraud Among Consumers Nationally
5/2/13		Carlo di Florio Named FINRA's New Executive Vice President, Risk and Strategy
4/30/13		Jonathan S. Sokobin Named FINRA's Chief Economist
4/22/13		Susan Axelrod Named FINRA’s Executive Vice President of Regulatory Operations
4/16/13		FINRA Fines Merrill Lynch $1 Million and Orders Restitution of More Than $320,000 for Failing to Provide Customers Best Execution in Non-Convertible Preferred Securities Transactions
4/15/13		FINRA Files Complaint Charging John Thomas Financial, CEO Tommy Belesis With Fraud
4/11/13		FINRA Files Temporary Cease-and-Desist Order Against Success Trade Securities and CEO Fuad Ahmed to Halt Fraud
3/13/13		FINRA Foundation Study Finds No Rainy Day Savings Can Lead to Mortgage Problems
3/7/13		FINRA Bars Florida Broker for Unsuitable Recommendations and Unapproved Securities Transactions Involving 31 NFL Players
3/4/13		FINRA Fines Ameriprise and Clearing Firm $750,000 for Failing to Supervise Transmittal of Customer Funds to Third-Party Accounts
3/1/13		FINRA Foundation Military Spouse Fellowship Application Period Open From March 1-31
2/28/13		FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1 Million in Grants to Support Grassroots Financial Education Projects
2/27/13		Steven J. Randich Named FINRA’s Chief Information Officer
2/21/13		FINRA Hearing Panel Dismisses Two of Three Causes of Action in Complaint Against Charles Schwab & Company
2/19/13		FINRA Fines Five ING Firms $1.2 Million for Email Retention and Review Violations
2/14/13		FINRA Issues New Investor Alert: Duration—What an Interest Rate Hike Could Do to Your Bond Portfolio
1/31/13		FINRA Investor Education Foundation and the American Library Association Announce $1.12 Million in Grants to Public Libraries to Support Financial Literacy
1/23/13		FINRA Seeks A Cease-and-Desist Order Against Westor Capital Group and its President for Misappropriation and Misuse of Customer Funds and Securities; FINRA Also Files Complaint Charging Westor and President
1/16/13		FINRA Launches Small Claims Telephonic Mediation Pilot Program
1/15/13		FINRA Foundation Issues Five Tips to Keep Your Finances From Going Off a Cliff
1/10/13		FINRA Issues Voluntary Interim Form for Crowdfunding Portals
1/8/13		2012: FINRA Year in Review